Even in difficult economic times, there are always people with money willing to invest in risky ventures for the chance at plentiful returns. These same people are vulnerable to being victims of securities fraud, a crime based on false statements and misrepresentations that affect the securities market; it can occur in many ways. For example, imagine a promoter who convinces people to investor in a venture by promising them generous returns. Instead of putting the money into the investment, the promoter embezzles the money and uses funds to pay off other investors, essentially participating in a Ponzi scheme. Other prohibited activities include misleading filings and insider trading.

If you engage in securities fraud in North Carolina, you can face civil penalties in addition to being criminally charged. Depending on the circumstances, you may be prosecuted under federal law, state law, or both.

North Carolina Securities Fraud Laws at a Glance

The chart below provides a summary of statutes related to North Carolina's securities fraud laws, including links to important code sections.

Note: State laws are always subject to change through the passage of new legislation, rulings in the higher courts (including federal decisions), ballot initiatives, and other means. While we strive to provide the most current information available, please consult an attorney or conduct your own legal research to verify the state law(s) you are researching.

North Carolina Securities Fraud Laws: Related Resources

• North Carolina Criminal Statute of Limitations Laws
• North Carolina Pyramid Scheme Laws
• Proving Securities Fraud
• Fraud and Financial Crimes

Discuss Your Securities Fraud Case with a Criminal Defense Attorney

If you're accused of violating North Carolina's securities fraud laws, then you'll likely want to talk to a skilled criminal defense attorney who can help with a viable defense or negotiations on your behalf. Use Findlaw's directory to find one near you.